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Home My WebLink About; ; Records Management Program AUDIT-Human Resources; 2009-03-31CITY OF CARLSBAD Records Audit Department HUMAN RESOURCES J^-/^ Records Manager Review: x"" X^^T^T^^"?7"" ^?L^x Department Review: ^ -^7 \Jt4jLi /} C L ^ Calendar Year: 2008 Date: ^ -// - & <J f AUDIT PURPOSE This audit has been conducted by Records Management staff. The purpose of the audit is to determine whether the records in your department are created, received, maintained and disposed of in accordance with the requirements of the Records Management Program. This audit also provides an opportunity for staff to evaluate the need for additional training and materials, and determine whether revisions to the current retention schedule are necessary. The audit elements listed below summarize the audit findings and identify whether each are in compliance with Program guidelines. Items requiring follow-up are identified in the "Action ItenF section in the Audit Summary. Records Management staff will make every effort to ensure these action items are completed within the designated time period. We appreciate the time your staff took to participate in this audit You may contact Ronna Stickrod at 434-2919, if you have any questions or concerns regarding the results of the audit. Records Audit conducted on 03/31/2009 by the following staff members: Records Staff: TANYA BTORK Department Staff: PF.NNY MCKAY Report Reviewed by: Ronna Stickrod VA? Records Management Page 1 of 2 Annual Audit Report - Human Resources Revised 1/09 AUDIT ELEMENT Records Management Program (RMP) Training Records Retention Schedule (RRS) Records Destruction FINDINGS All staff trained. None requested. Records will be submitted for destruction. ACTION None None See Action Item 1 AUDIT SUMMARY Findings: Records Management staff verified that the Records Management Program has been implemented and is continuing to be applied to those records for which Human Resources (HR) is designated as the "Office of Record" in the Records Retention Schedule. SmeadSoft is utilized in this division. The database has been reviewed for accuracy. A copy of the records that were randomly selected for review is attached for reference. The responsibility for maintaining the department's electronic records on the community drive is shared. Julie Clark makes decisions regarding the community drive's clean-up and organization. 33 boxes of records were submitted for destruction earlier this calendar year. At this time HR is submitting records for destruction when there are space issues, not necessarily based on the records retention periods. By ensuring the records are submitted regularly for destruction, HR staff will not only be in compliance, but will have less difficulty preparing records and will not encounter filing space issues. This was an action item previously identified in the 2006 calendar year Records Audit See Action Item 1. Records Management is currendy holding four boxes of HR records at their offsite destruction staging area in the Farmer's claim building. These boxes of records are not yet due for destruction. Currently Records Management stores the permanent Negotiation records for HR at Cor-O-Van. See Action Item 2. The City Clerk's office is currently in possession of records retained on microfiche labeled "Inactive Personnel". Due to the age of the records, these files may be due for destruction. See Action Item 3. Action Items: 1. Departmental staff will prepare and submit records eligible for destruction annually according to the Records Management Program and Record Retention Schedule. Records staff will facilitate the destruction of these records, and will assist in identifying records due for destruction as needed. A printout of HR record types in the Records Retention Schedule was supplied to the records liaison, and will be reviewed by the HR department for any retention recommendations. 2. Records staff will return the four boxes of records currendy stored at the Farmer's Claim building to HR. The records shall be submitted for destruction when their retention period is up. 3. Records Management will evaluate the microfiche inventory with Human Resources staff to determine whether the "Inactive Personnel" microfiche is due for destruction. The microfiche will be processed and submitted for destruction as appropriate. Records Management Annual Audit Report - Human Resources Page 2 of 2 Revised 1/09 City of Carlsbad All Human Resources Barcode HR0000015 HR0000312 HR0000602 HR0000802 HR0001174 HR0001185 HR0001196 HR0001222 HR0001223 HR0001224 HR0001367 HR0001447 HR0001501 HR0001555 HR0001614 HR0001759 HR0002199 HR0002975 HR0003082 HR0003140 HR0003315 HR0003485 HR0003543 HR0003711 HR0003927 HR0004046 HR0004458 HR0004636 HR0004865 HR0005041 HR0005265 HR0005592 HR0005890 First Name ALLEN, LORI A FEULING, JOSEPH P LOWE, MATTHEW W DEVELASCO, ALONSO BUILDING INSPECTOR LT ALADITS, JAMES FINANCE MANAGER BARREIRO, PATRICK J CALARCO, DOMINIC A ALVAREZ, SALVADOR V. LEWIN, CYNTHIA J JOHNSON, JAMES POLICE OFFICER - LATERAL SEALE, DON TRONERUD, ELIZABETH BALLARD-BRUCE, JOAN JENNER, GARYW PARAMEDIC FIREFIGHTER HOOPER, WAYNE MANAGEMENT ASSISTANT Office Specialist II to Secretary ERWIN, LYNN POLICE SERGEANT JANNUSCH, RACHEL CONIGLIONE, FRANCO J EVERETT, FIONA BENTLEY, ADAM KETTLER, KARL R Environmental Specialist CARNEIRO, SUZANNE Communications Operator I MABROUK, JOAN LARRAGOITIY, AMANDA Second Name Third Name DOI: 2/6/04 R&S FILE DOI: 2/7/04 Active: 2/24/04 - 565-71-3775 DOT DOI: 9/12/03 Continuous FY: 2003-2004 Active: 5/1 0/04- FY: 2004-2005 Active: 6/14/04 - City Manager 2001 Active: 2/18/05 - FY: 2005-2006 621-01-3322 DOT 570-15-5971 DOT Public Works 2007 Continuous FY: 2008-2009 DOI: 2/1 0/09 back Fourth Name File Code 083020 083020 083020 081070 085005 081070 085065 081025 081040 081090 081025 081070 085065 086045 081025 081030 081040 085065 086045 085065 082040 081025 085065 086045 081025 083020 081090 081090 082040 081025 085065 086045 081070 Color Remarks Blue Blue Blue Blue Blue Blue Blue Blue Blue Purple Blue Blue Blue Green Blue Blue Blue Blue Green Blue Blue Blue Blue Green Blue Blue Purple Purple Blue Blue Blue Green Blue Thursday, February 12, 2009 3:53:00 PM - SmadSott Grid Print tbtor Page:1